Section III-Academic and Student Affairs

November 26, 2007

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21 ACADEMIC AFFAIRS

21.01 Planning

The board requires the system administration and component universities to employ systematic processes to assess needs, identify goals, develop operating plans and budgets, evaluate performance outcomes, and report performance results.

21.01.1 Responsibility

A. Annually, the board approves fiscal year operating budgets and organization plans for the system administration and each component university.

B. The chancellor is responsible for developing the planning and budgeting process employed by the system. The process will provide for review of all plans by the appropriate board committee prior to board action.

C. The chancellor is responsible for preparing and implementing system plans as approved by the board, for ensuring that the results are compatible with the mission and goals approved for each component university, and for reporting system performance results to the board.

D. Under the direction of the chancellor, the presidents are responsible for preparing and implementing plans for their component universities as approved by the board, ensuring that the results are compatible with the missions and goals approved for their component universities, and reporting their component university results to the board.

21.01.2 Reporting Requirements

Annually, the chancellor shall report to the board the operating and budget plans of the system administration and each component university for the ensuing fiscal year, and the system performance for that year. (11/18/04)

21.02 Honorary Degrees

Honorary degrees may be awarded by the board at a component university's commencement or on other special occasions for the purpose of recognizing outstanding achievements. All honorary degrees must be approved by the board upon recommendation of the chancellor.

A candidate nominated to receive an honorary degree should have national or international distinction or have exceptionally strong visibility within the State of Texas.

The candidate should have an association with the system, or there should be an established program at the component university in the recipient's major area of expertise. Employees and regents of the system and officials currently holding elective offices are ineligible to receive honorary degrees; however, persons of national prominence in their field are excepted from this restriction. (11/18/04)

21.03 Academic Freedom

To establish and clarify the rights and responsibilities of the faculty pursuant to academic freedom, the board adopts the following policy:

21.03.1 The faculty member is entitled to full freedom in research and in the publication of the results, subject to the adequate performance of the faculty member's other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the component university.

21.03.2 The faculty member is entitled to freedom in the classroom in discussing the subject matter, but the faculty member should be careful not to introduce into the teaching controversial matter which has no close relation to the subject.

21.03.3 The faculty member is a citizen, a member of a learned profession, and an officer of an educational institution. When speaking or writing as a citizen, the faculty member shall be free from institutional censorship or discipline, but the faculty member's special position in the community imposes special obligations. As a person of learning and an educational officer, the faculty member should remember that the public may judge the profession and the institution by the faculty member's utterances. Hence the faculty member should at all times strive for accuracy, exercise appropriate restraint, show respect for the opinions of others, and make every effort to indicate that the faculty member is not speaking for the institution. (11/18/04)

21.04 Part-Time and Evening Programs

The board affirms the system's commitment and obligation to the citizens of the state to provide a broad range of high-quality professional and general educational and degree opportunities, within the context of the specific mission of each component university, to full-time and part-time students in academic programs during both day and evening hours.

Because of the board's strong commitment to maximize educational and degree opportunities and its concern for students who must attend part-time and evenings, the board directs that any change in academic programs that could adversely affect part-time and evening students be submitted to the board for prior approval. (11/18/04)

21.05 Faculty Workload

Each component university, in compliance with state law, shall adopt and maintain faculty academic workload rules and regulations directed toward attaining the greatest educational benefit from the expenditure of public funds. All such rules and regulations must be approved by the chancellor or his or her designee and adopted by the board.

The faculty academic workload rules and regulations shall be reported to the Texas Higher Education Coordinating Board and included in the operating budgets and faculty handbooks of each component university. (11/18/04)

21.06 Faculty Personnel Actions

The system shall establish guidelines and procedures regarding academic appointments, separations, promotions, and tenure awards. Such guidelines and procedures should maximize each component university's ability to attract and retain academic personnel of the highest quality. The guidelines and procedures must be approved by the board and published in the respective component universities' faculty handbooks.

Each component university shall adopt academic personnel guidelines and procedures consistent with those of the system. (11/18/04)

21.07 Faculty Dismissal

Dismissal is the termination of employment of a tenured faculty member, or of a probationary or nontenured faculty member before the term of appointment has expired. Each component university through its faculty governance processes shall develop policies and procedures pertaining to dismissal of faculty members. Such policies must be consistent with those specified herein and must be approved by the chancellor.

Dismissal recommendations by the presidents of the component universities must be approved by the chancellor before being presented to the board for action on the recommendation. Dismissal of a faculty member requires board action.

21.07.1 Assurances

Component university policies and procedures for faculty dismissals must assure that:

A. the rights of the individual to due process are protected;

B. dismissal shall not violate the constitutionally protected rights of an individual and shall not be used to restrain faculty members in their exercise of academic freedom;

C. dismissal procedures provide for timely written notice of impending dismissal that specifies the grounds on which dismissal is sought;

D. a faculty member notified of impending dismissal has the option of a hearing before an impartial faculty tribunal designated by the established procedures of the particular component university; and

E. the burden of proof in dismissal proceedings rests with the component university seeking the dismissal.

21.07.2 Justifications

Dismissal may be justified by one or more of the following:

A. Adequate Cause. Termination of employment for adequate cause may include:

1. grounds related to dishonesty, or to demonstrated professional incompetence in teaching or research;

2. grounds related to substantial and manifest neglect of professional or academic responsibilities; or

3. grounds related to actions that would result in a general condemnation of the faculty member by the U.S. academic community.

B. Financial Exigency. Termination of employment may be justified by a demonstrated and bona fide imminent financial crisis that threatens the continuation of the academic programs in their present form, and that cannot be alleviated by other means. Each component university will develop criteria and procedures to determine whether a state of financial exigency exists. Standards so developed will include provisions for faculty involvement in the determination and for a minimum twelve-month notice of termination of appointment to tenured faculty. Untenured faculty will be given notice consistent with the component university's non-reappointment guidelines.

C. Medical Reasons. Termination of employment may be justified by clear and convincing medical evidence that the faculty member cannot fulfill professional and academic obligations, or the terms and conditions of appointment, with reasonable accommodation.

D. Discontinuance of Academic Programs. Termination of employment may be based on the discontinuance of an academic program reflecting long-range judgments concerning the educational mission of the component university. Tenured faculty will be given notice eighteen months prior to termination of employment due to discontinuance of academic programs. Untenured faculty will be given notice consistent with component university non-reappointment guidelines.

In the event of dismissal of faculty by reason of financial exigency or discontinuance of academic programs, the component university's administration will make every reasonable effort to place affected faculty in other positions. A faculty member with tenure will not be dismissed in favor of retaining a faculty member without tenure except in extraordinary circumstances where a distortion of the academic program would otherwise result. (11/18/04)

21.08 Intellectual Property

University research and intellectual endeavors often result in the invention of new technology or the creation of new copyrighted material. Such results may have commercial value. While the production of commercially valuable intellectual property is not necessarily the purpose of University research and educational activities, nor the duty of anyone engaged in research and educational activities, the board desires that both society and the University under the governance of the board use all knowledge to the greatest possible benefit. Accordingly, when appropriate, the University will protect all intellectual property rights in technology and copyrighted material and use diligent efforts to make productive use of such rights for the good of the public, the creator, and the system. When this result is achieved by the attraction of private risk capital, or by the transfer or licensing of rights in technology or copyrighted material, income may be realized, which the board will seek to distribute in a manner fair both to the creator and to the University at which the intellectual property was developed. Financial return, however, always remains secondary and incidental to the public service aspect of developing and disseminating knowledge for public use. The board hereby delegates authority to promulgate specific policies for managing Intellectual Property Rights to the Chancellor/President.

21.08.1 Definitions

A. "Author" means any person (as defined below) who actually creates copyrighted material (also as defined below).

B. "University" means all component universities within the University of Houston System.

C. "Business participation" means the participation of a person in any activity, the purpose of which is the commercial development or exploitation of intellectual property owned by the University. Such participation includes, but is not limited to, an equity interest, a consulting relationship, service on a board of directors or similar body, a royalty interest, stock ownership, or any similar relationship.

D. "Copyrighted material" or "work of authorship" means original expression that is fixed in any tangible medium of expression and subject to copyright protection under Title 17 of the United States Code as it now exists or as it may be amended. Under federal law, copyright subsists from the moment of the work's creation, although protection may be enhanced by registration with the United States Copyright Office. Works of authorship currently include:

1. Books, journal articles, texts, glossaries, bibliographies, study guides, laboratory manuals, syllabi, tests, and survey instruments; 2. Lectures and unpublished lecture notes; 3. Musical works; 4. Dramatic works; 5. Works of visual art, such as sculptures and drawings; 6. Architectural works; 7. Films, audiovisual works, slide programs, film strips; 8. Sound recordings and video recordings containing original performances; 9. Programmed instruction materials; 10. Computer programs and documentation.

E. "Creator" means an inventor or author (each as defined elsewhere in this policy).

F. "Intellectual Property Rights" means those rights of ownership recognized by law in technology, copyrighted material, and computer software and firmware (all as defined in this policy). Intellectual property rights include, but are not limited to, patents, copyrights, and rights to trade secrets and know-how.

G. "Inventor" means any person who discovers or invents technology.

H. "Net income" means, with respect to board-owned rights in any particular intellectual property and/or copyright, gross revenue received by the University as a result of the commercialization of such rights, less:

1. any taxes or other charges of any description paid by the University to governmental agencies in connection with the particular intellectual property; and

2. all legal and other expenses paid by the University to affiliates or third parties in filing, prosecuting, maintaining, enforcing, defending, and commercializing such rights in the United States or foreign countries.

I. "Person" means any part-time or full-time faculty or staff member working at, or student attending, the University or other entity under the governance of the board.

J. "Chancellor/President" means the Chancellor/President of the University under the governance of the board, or any person the Chancellor/President designates to carry out the University's intellectual property policy.

K. "Software" means any program, language, or procedure for a computer system or portion thereof, and any accompanying documentation. Software includes, but is not limited to, computer programs, internal programs, subroutines, assemblers, generators, subroutine libraries, compilers, operating systems, and application programs.

L. "Technology" means discoveries, innovations, or inventions.

M. "University research" means all research, activities, or work within or related to a person's expertise or general area of employment responsibility, or that has resulted from activities performed by the person on University time, with the support of University funds or from using University facilities, including work under a research agreement with an external sponsor and research conducted by anyone, whether or not a person as defined in this policy, who utilizes University resources.

N. "University support" means direct University support which includes but is not limited to the following:

1. Equipment, materials, and staff services from any of a variety of University departments other than the person's academic department or unit are used in the development of copyrightable materials at no expense to the author or the author's academic department/unit.

2. Author receives support for the development of copyrightable material, such support being in the form of money in excess of normal salary, reduced teaching load, released time, or other resources from a department, college, or any unit of the university.

21.08.2 Standing Committee on Intellectual Property

A. Appointment. The Chancellor/President of the University shall appoint or specify the make-up of a Standing Committee on Intellectual Property.

B. Duties in General. In addition to the responsibilities described elsewhere in this policy, the committee will advise and recommend to the Chancellor/President:

1. guidelines and procedures for implementation of this intellectual property policy;

2. proposed amendments to this policy; and

3. such other matters as the Chancellor/President directs.

21.08.3 Technology: Patents, Trade Secrets, Know-How, Etc.

A. Ownership of Technology. The board owns all intellectual property rights for technology that is conceived or reduced to practice by any person engaged in University research. The board has delegated to the Chancellor/President of the University the authority to make the following exceptions:

1. In rare circumstances, the University may agree, in contracts for sponsored research, that the sponsors or other parties will own the intellectual property rights in technology resulting from such research.

2. The University may accept research agreements that, under statutory law, vest intellectual property rights in the technology resulting from such research in an agency of government.

3. After consideration as required by this policy, the University may waive intellectual property rights in technology in favor of the inventor.

B. Technology Agreement. Every person employed by the University shall execute a "Technology Agreement," a copy of which is available from the Chancellor/President's office. However, the failure of any person to execute a "Technology Agreement" shall not affect the Board's rights under this policy.

C. Technology Assignment and Execution of Documents. Whether or not a person makes a disclosure of technology as described below, he or she shall execute assignments or any other documents required for the acquisition and protection of board-owned intellectual property rights, including those documents necessary to enable the University to fulfill requirements imposed by agreement or by law.

D. Disclosure of Technology. Carefully planned methods of transferring board-owned rights in technology will best accomplish the objectives stated in the "Purpose" section of this policy. The University can accomplish those objectives only if inventors promptly disclose technology. Premature publication of information pertaining to discoveries and inventions, or delayed prosecution of patent protection, can damage seriously the ability to obtain patent protection. Therefore, if a person conceives or reduces to practice any technology, that person must disclose such technology to the University as soon as practicable after the date of first conception or discovery. Certain research agreements may require disclosure, and in such a case a person shall disclose technology in accordance with the agreement. To make a proper disclosure, the inventor must prepare, sign, and date a patent disclosure in the form promulgated by the University. The inventor must also include drawings, sketches, and other pertinent data to show the principle of the technology.

E. Action after Disclosure

1. The Standing Committee on Intellectual Property shall review the technology upon disclosure and shall recommend to the Chancellor/President that the University adopt one of the following actions:

1.1 institute action to acquire patent protection. The committee shall recommend whether the University should pursue such action itself or refer the technology to a management agency; or license the technology as know-how and/or a trade secret, whether or not it obtains patent protection;

1.2 transfer intellectual property rights in the technology to the research sponsor, if such transfer is required by a research agreement; or

1.3 waive ownership in the intellectual property rights in the technology in favor of the inventor with the University retaining 10% interest in future revenues, should the inventor commercialize the technology that was disclosed. In addition, if the University had invested financial resources for legal protection of the technology prior to waiving ownership, the University shall recoup its legal fees and expenses from future revenues in addition to retaining a 10% interest in the technology. It is noted, however, that any future improvements or modifications developed at the University are considered new inventions and the property of the University and subject to this policy. The 10% interest will be distributed 5% to the University, 3% to the Department(s) or Research Center based on research budget allocation and 2% to the College(s) based on research budget allocation.

2. After reviewing the committee's recommendation and such other technical consultation as is appropriate under the circumstances, the Chancellor/President shall determine the University's course of action concerning the technology.

3. The University will act in good faith and will attempt to evaluate all disclosures within a reasonable time. The Standing Committee on Intellectual Property evaluates each disclosure, if adequate (see subsection following), within 120 days from the first scheduled meeting after the disclosure is made. Within 120 days, the committee transmits its recommendation to the Chancellor/President. The Chancellor/President has an additional 60 days to act on the committee's recommendation. If either the committee or the Chancellor/President fails to act on the invention within the relevant time period specified above, the inventor may request, and in response thereto the University may grant, a waiver of the University's rights in favor of the inventor.

4. If the inventor fails to provide any information pertinent, in the committee's judgment, to evaluation of the disclosure, the disclosure is not "adequate." In such circumstances, the committee shall request the needed information from the inventor, and the calculation of the 120- and 60-day time periods specified in the foregoing subsection shall not begin until the requested information is received by the committee.

F. Publication. Premature publication of information pertaining to technology could damage seriously the University's ability to obtain patent protection in foreign countries. Accordingly, an inventor may not seek publication of any information pertaining to disclosed technology until the earlier of (1) 90 days after disclosure is made, or (2) the University grants permission for such publication. This requirement is intended only to affect the timing for publication of research findings and shall not be used to infringe upon the academic freedom of any person. However, if the inventor publicly disclosed the invention, the University and members of the Standing Committee on Intellectual Property shall not be held responsible for any loss if patent protection is not secured.

21.08.4 Copyrights

A. Ownership of Copyrights. The University will not assert ownership of copyright developed by faculty, staff or students, unless separately contracted for, in any: 1. Books, journal articles, texts, glossaries, bibliographies, study guides, laboratory manuals, syllabi, tests, and survey instruments; 2. Lectures and unpublished lecture notes; 3. Musical works; 4. Dramatic works; 5. Works of visual art, such as sculptures and drawings; 6. Architectural works.

B. The University will assert ownership of copyright developed by faculty, staff or students, with regard to other types of works subject to copyright, namely, 7. Films, audiovisual works, slide programs, film strips; 8. Sound recordings and video recordings containing original performances; 9. Programmed instruction materials; 10. Computer programs, software, and documentation, allocation of copyright ownership will be as follows:

1. University Supported Effort. When a work is created with financial support or resources of the University and the work is not prepared in accordance with the terms of a contract or grant in which the University is a party or as a specific University assignment, the University will own the copyright and the division of royalty and other income will be based on the Net Income Distribution included in this policy. Routine use, as sanctioned by University policy, of library, office space, equipment, supplies, facilities, and personnel within the author's department or college does not, for the purposes of this section, constitute University support.

2. Extramurally Sponsored Effort. Copyright in works developed with support from an outside agency through a contract or grant will be owned by the University. The Chancellor/President or his designee must approve deviations from the policy.

3. University Commissioned Efforts. Materials or other works produced by employees of the University will be subject to copyright exclusively by the University, if the University commissioned the employee to write or produce the specific materials or works. A faculty member's general obligation to produce scholarly and creative works and the receipt of a professional development leave, unless there is a specific agreement to the contrary, do not constitute University Commissioned Efforts as defined in this policy.

4. Student copyrights as a result of course work. The University claims no rights to works created by students in the course of their education, such as dissertations, papers and articles, if the student received no support from a research grant in the form of wages, salary, stipend or a grant from funds administered by the University. The University will own the copyright to works created by graduate students in the course of their assigned duties of employment, including duties as teaching or research assistant as part of an assigned task, where the assignment explicitly states that the work will be owned by the University.

5. Categorization issues. It is recognized that the boundaries among traditional forms of works of authorship may be difficult to apply to certain works in newer media. For example, the line between books and programmed instruction materials may not be apparent. For purposes of this policy, a work whose presentation and use are interactive (other than for purposes of searching the text or otherwise locating material, or for verifying correct answers) will be regarded as a computer program rather than a book. When questions of ownership arise, and until the dispute is resolved, it will be managed as though the University owns the copyright.

6. Software and Firmware. Since the potential exists to protect software and firmware under copyright, patent, and trade secret laws, the author must comply with board policies and regulations governing copyrights and technology.

C. Disclosure of Copyright. Carefully planned methods of transferring board-owned rights in copyright will best accomplish the objectives stated in the "Purpose" section of this policy. The University can accomplish those objectives only if authors promptly disclose copyrighted material. Therefore, if a person creates copyrighted material, that person must disclose such works to the University as soon as practicable after the date of fixing the original expression in any tangible medium. Certain research agreements may require disclosure, and in such a case a person shall disclose technology in accordance with the agreement. To make a proper disclosure, the author must prepare, sign, and date a copyright disclosure in the form promulgated by the University. The author must also include other pertinent data to show the medium of copyright.

D. Action after Disclosure

1. The Standing Committee on Intellectual Property shall review the copyright upon disclosure and shall recommend to the Chancellor/President that the University adopt one of the following actions:

1.1 recommend whether the University should pursue commercialization action itself or refer the technology to a management agency; or license the copyrighted material;

1.2 transfer the rights in the copyright to the research sponsor, if such transfer is required by a research agreement; or

1.3 waive ownership in the copyright in favor of the author with the University retaining 10% interest in future revenues, should the inventor commercialize the copyright that was disclosed. In addition, if the University had invested financial resources for legal protection of the copyrighted material prior to waiving ownership, the University shall recoup its legal fees and expenses from future revenues in addition to retaining a 10% interest in the copyright. It is noted, however, that any future improvements or modifications developed at the University are considered new copyrighted material and the property of the University and subject to this policy.

E. Rights to Fair Use. Where the University owns the copyright, the authors will retain rights to copy and distribute the original work to the extent necessary for classroom use in connection with courses taught by the author at this or another university. In exercising these rights, the author will provide fair attribution to the University of Houston for having supported the original work. The author will include the copyright notice; Where the author owns the copyright, the University will retain rights to fair use, archival and library reproductions, and performance and display of such works.

F. Revision of Materials and Works. Works as to which the University, under the terms of this policy, owns the copyright shall not be altered or revised without providing the author a reasonable opportunity to assume the responsibility for the revision. If the author declines the opportunity to revise such material, the Chancellor/President in consultation with the appropriate department or office will make the assignment of responsibility for the revision.

G. Withdrawal of Materials and Works from Use. Materials and works as to which the copyright is owned by the University, under the terms of this policy, shall be withdrawn from use when the University in consultation with the author deems such use to be obsolete or inappropriate. No withdrawal or other discontinuance shall take place that would violate the terms of any licensing or other agreement relating to the materials or works.

H. Reimbursement of Expenses. In those instances where the University takes copyright ownership pursuant to this policy, any gross revenue received as a result of commercializing any work of authorship developed or created at the University must first be applied to recovering expenses associated with creation of such work and with exploitation of the copyright therein. Thereafter, revenue will be allocated to the authors and the University in the same manner as net income in the case of patented inventions.

I. Apportionment Among Authors. When there is more than one author of a work, the shares to the respective authors shall be distributed in the proportions set forth on the disclosure form submitted to the Standing Committee on Intellectual Property. If no disclosure has been submitted, then by agreement between the authors, or in the absence of such agreement, the proportions will be determined by the Chancellor/President after affording an opportunity for hearing those concerned.

J. Resolution of Copyright or Equity Disputes. A University Copyright Appeals Committee, an Ad Hoc Subcommittee of the Standing Committee on Intellectual Property, shall review the applications for the resolution of copyright or equity disputes and shall submit its recommendation to the Chancellor/President. Either the employee or the Vice President for Research may request a review. The Copyright Appeals Committee shall be appointed by the Chancellor/President from nominations submitted by the Standing Committee on Intellectual Property and shall function in accordance with policies and procedures established by the Standing Committee on Intellectual Property and reviewed by the University Faculty Senates. The Chancellor/President's decision will be binding on all parties, and will be conveyed to all involved in a timely fashion, but must be conveyed within 60 working days.

21.08.5 Commercialization of Board-Owned Intellectual Property and Copyrighted Material

The board policy is to make productive use of Intellectual Property and Copyrighted Material for the good of the public, the creator, and the system. To achieve this goal, the University may license, transfer, or otherwise commercialize board rights in technology or copyrighted works developed by its faculty, staff, and students. To manage this process, the University operates a licensing and transfer program and requires strict compliance therewith. The University also encourages creators themselves to seek potential licensees and transferees, or to notify the University of such individuals or companies. In all instances, the University must be involved in any negotiation of a commercialization agreement concerning board intellectual property rights in technology or copyrighted works, and must give final approval to any such agreement.

21.08.6 Net Income Distribution

A. Reimbursement to System. The board recognizes the healthy symbiotic relationship that, by this policy, it seeks to foster between itself and persons associated with the University. Of necessity, the university will receive all gross revenue as a result of commercializing any intellectual property rights developed or created at the University and this must first be applied to recovering the expenses listed in the definition of "net income" above. Thereafter, the creator(s) of the intellectual property has a residual economic interest, to be paid out according to the schedule in the following subsection.

B. Creator's Residual Economic Interest

1. 40% of Net Income shall be paid to the Creator(s) thereof in the proportions set forth on the disclosure form submitted to the Standing Committee on Intellectual Property (in the case of patents and other technology) or on the title page of the copyrighted work.

2. Thereafter, unless the Standing Committee on Intellectual Property recommends, and the Chancellor/President adopts, a different distribution, the remaining Net Income derived from commercialization of the Intellectual Property Rights shall be distributed as follows:

2.1 40% to the University;

2.2 13% to the Creator(s) academic department(s) or research center(s) in proportion to the research budget allocations;

2.3 7% to the College(s) in proportion to the research budget allocation.

C. Time of Distributions. The sums referenced in the foregoing schedule shall be distributed annually to the creator(s) or the University as soon as practicable after the close of the fiscal year during which the income was received.

D. When equity, in the form of stocks, is received as part of the royalty agreement, the company shall be directed to issue 40% of the stocks to the Creator(s) and the remainder of the stock shall be distributed to the University. In the event a Creator receives stocks from the company, the Creator shall elect to receive stock from either the University or the company, but not both.

E. The distribution with the University shall be as follows:

1. The entire University share will be distributed to a component that has incurred the costs of development, protection of the Intellectual Property and Marketing;

2. If the University of Houston System or another component has contributed financially to the commercialization of the Intellectual Property, the Chancellor or his designee shall determine the equitable distribution of the University share;

Each component shall establish its own policies for internal distribution.

21.08.7 Business Participation

A. Business Participation Approved. The board does not discourage persons subject to this policy from participating in the commercial development and/or exploitation of board-owned intellectual property. Nonetheless, such participation must conform in all respects to this policy, including the policy stated above concerning licenses and transfers, and to applicable state and federal laws.

B. Specific Requirements. In particular, a person shall not engage in business participation if such participation would violate Board Policy 49.08, section 572.051, Texas Governance Code, section 51.912, Texas Education Code, or other state or federal law or regulation that controls such participation. (11/18/04)

21.09 Shortened Format Courses

The board intends that, when feasible, the duration of credit courses offered by component universities coincide with the established academic calendar. Thus, courses of instruction should have a duration of approximately 14 weeks if offered during a semester of the academic year, and approximately five weeks if offered during the summer term. However, the board acknowledges that a few areas of instruction are of such nature that occasional courses offered in a shortened format are appropriate. Such courses, when offered, shall satisfy system guidelines. (11/18/04)

21.10 Sponsored Research Grants & Contracts

The board delegates to the Chancellor or his/her designee the authority to execute and accept all sponsored research contracts and grants up to a level of $500,000. Board approval is required for research contracts and grants above that amount. (11/18/04)

21.11 Post Tenure Performance Review

21.11.1 Preamble

The Board of Regents of the University of Houston System affirms the principle that the quality of its universities is inextricably tied to the quality of its faculty, and that the ability of a university to serve its public is dependent upon the creation of an environment that nurtures the development of its faculty so as to increase the likelihood of success in the pursuit of teaching, research and service. Furthermore, the Board reaffirms its commitment to the institution of tenure, recognizing that the public interest is best served in a climate in which faculty members are free to pursue the creation and dissemination of knowledge.

At the same time, the Board recognizes the need to create an environment of accountability and public trust in both the institution as a whole and in individual faculty members.

The policies promulgated below are intended to ensure that a tenured faculty member consistently performs at an acceptable professional level, to provide for a plan of faculty development where necessary, and finally, in the instance of failure to correct deficiencies, to provide for the revocation of tenure or other appropriate disciplinary action.

21.11.2 Delegation of Authority

Each university within the University of Houston System shall adopt policies and procedures providing for a periodic performance evaluation process for all tenured faculty members. Such institutional policies and procedures, and any subsequent amendments thereto, must be approved by the Chancellor and the UH System Board of Regents. Institutional policies and procedures may be designed to fit the particular mission, traditions, and circumstances of the individual universities and must in all cases adhere to the following set of principles and procedures.

21.11.3 Fundamental Principles

A. Institutional post-tenure performance review policies must conform to any and all relevant state statutes, including procedures for alternative dispute resolution (Chapter 154, Civil Practice and Remedies Code) and to other applicable policies of the Board (Board of Regents Policy 21:07 -- Faculty Dismissal).

B. Post-tenure performance review policies and procedures at both the system and university levels and any subsequent amendments thereto (hereinafter referred to as "post-tenure performance review policies") are grounded in three principal academic values: peer review, academic freedom, and due process.

1. Peer Review

1.1 The formulation of post-tenure performance review policies shall include substantive and meaningful consultation with appropriate faculty bodies.

1.2 The review of individual faculty members shall include provisions for involvement by appropriate faculty colleagues in order to ensure that peer review is an essential component of the post-tenure performance review process.

2. Academic Freedom

Post-tenure performance review policies shall reflect the system's long-standing and sustained commitment to the traditional value of academic freedom. It is the intent of the Board that the implementation of post-tenure performance review policies would not result in compromising this value in any way.

3. Due Process

Post-tenure performance review policies shall incorporate academic due process rights, including notice of the manner and scope of the evaluation, the opportunity to provide documentation, notice of specific charges, and an opportunity for hearing on those charges before disciplinary action is instituted on the basis of such an evaluation.

C. Evaluations shall be based on the professional responsibilities of the faculty member in the areas of teaching, research, and service. The evaluation process shall be directed toward the professional development of the faculty member. Toward that end, the institution, through its appropriate academic officers and in concert with the affected faculty member, shall devise an individual plan of professional development for faculty members for whom a determination of unsatisfactory performance is made. Such a professional development plan shall be specific with regard to expectations, actions, timeline, resources, and the consequences of non-correction of the identified deficiencies. In the event that implementation of the professional development plan does not result in substantial improvement of performance, the faculty member may be subject to disciplinary action, including possibly the revocation of tenure and dismissal. A tenured faculty member subject to the revocation of tenure and dismissal on the basis of an unsatisfactory performance evaluation must be given the opportunity for referral of the matter to a non-binding alternative dispute resolution process.

D. Procedures

1. A comprehensive performance evaluation process, which must include peer review, shall be conducted for each tenured faculty member no more often than once a year, nor less often than once every six years after attaining tenure.

2. Administrators who also hold a tenured faculty position shall be subject to the established review procedures for administrators as codified in Board by-laws, Board policies, System administrative memoranda, and component university policies on this subject.

3. The records of actions taken to comply with these policies shall reside in the Office of the Provost of each university. Deans must provide an annual written report to the Provost with regard to the status of faculty members for whom a professional development plan has been established. (11/18/04)

[ TOP | Academic Affairs | Auxiliary Enterprises | Student Affairs | Miscellaneous ]

22 AUXILIARY ENTERPRISES

22.01 Intercollegiate Athletics

Intercollegiate athletics programs under the auspices of the University of Houston System shall be operated by the component to assure accountability to the values and principles of American higher education and the University of Houston System. The Board subscribes to the Statement of Principles established by the Knight Foundation Commission on Intercollegiate Athletics as general operating guidelines for UHS intercollegiate athletics programs. (Keeping Faith with the Student Athlete: A New Model for Intercollegiate Athletics. Report of the Knight Foundation Commission on Intercollegiate Athletics, March 1991. p. 30-32.) The Board and Chancellor expect such programs to operate under institutional control, with academic and financial integrity, and in full compliance with National Collegiate Athletic Association rules. Annually, the Chancellor will review academic and financial matters related to intercollegiate athletics programs operated by component universities and report to the board academic achievement of student athletes, compliance with NCAA rules, and financial status of the program. (11/18/04)

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23 STUDENT AFFAIRS

23.01 Equal Educational Opportunity

The system and its component universities shall provide and promote equal educational opportunity for all persons and shall take affirmative steps directed toward eradicating the vestiges of past discrimination. No person shall be denied admission to a component university or be excluded from participation in, denied the benefits of, or be subject to discrimination under any program or activity sponsored or conducted by the system or a component university on any basis prohibited by applicable law, including race, color, national origin, religion, sex, disability, age, or veteran status. (11/18/04)

23.02 Admissions

The component university shall establish and maintain standards for the admission of entering students consistent with the role and mission established for each university by the board, based upon recognized and published criteria and designed to enhance the students' chances of academic success. Undergraduate admission standards, and any subsequent changes, must be approved by the board. (See also 23.01 Equal Educational Opportunity) (11/18/04)

23.03 Student Use of Alcohol and Drugs

Component university regulations concerning student use of alcohol and controlled substances shall be consistent with state and federal law and reflect the intent of the Texas Legislature and Congress to discourage drug and alcohol abuse by students. Accordingly, such regulations shall provide disciplinary measures including, and after due process, suspension from attendance or enrollment for a prescribed period of time.

Presidents shall encourage and develop regular communication with students for the purposes of:

a) informing students of regulations concerning the use of alcohol and controlled substances; and

b) informing students of programs, either on campus or in the community, designed to counsel and advise individuals regarding alcohol and drug abuse. (11/18/04)

23.04 Student Financial Aid

The board is committed to the concept that all qualified students should be afforded educational opportunities regardless of individual financial circumstances.

Within the constraints of its resources, the system shall take all steps necessary to maximize the amount of available student financial aid, and shall take steps to fully utilize those funds to assist students whose education would not otherwise be possible. (11/18/04)

23.05 Student Travel Policy

The Board delegates to the Chancellor the authority to develop, finalize, and implement a student travel policy for the System and its components, in compliance with Section 51.949 of the Texas Education Code. Such policy shall address student travel that is undertaken by one or more students presently enrolled in the institution to reach an activity or event located more than 25 miles from the institution, that is organized and sponsored by the institution, and that is: 1) travel funded by the institution and using vehicles owned or leased by the institution; or 2) travel required by a student organization registered at the institution. The Chancellor shall ensure that any student travel policy, including any amendments thereto, complies with applicable law, including Section 51.950 of the Education Code. Any student travel policy or amendment thereto is effective upon approval by the Chancellor. (11/18/04)

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29 ACADEMIC AND STUDENT AFFAIRS MISCELLANEOUS

29.01 HIV Services (AIDS)

Each component university and the system administration shall adopt policies consistent with the Human Immunodeficiency Virus Services Act, Texas Health and Safety Code, Section 85.001 (the "Act").

Each component university shall include in appropriate academic programs curricula consistent with the educational objectives of the Act.

Each component university and the system administration shall communicate its policies in a manner designed to reach the widest possible audience of faculty, students, and staff. (11/18/04)

29.02 Sexual Harassment

The board, the system, and the component universities are committed to providing a professional working and learning environment free from sexual harassment. Sexual harassment is a form of sex discrimination and is illegal. Neither the board, nor the system, nor any component university will tolerate any form of sexual harassment. Furthermore, the board, the system, and the component universities are committed to providing the training to educate staff, faculty, and students about sexual harassment issues.

The component universities and the system administration shall adopt policies consistent with this policy. The rights of claimants and respondents will be protected by the procedures developed by the institutions. (11/18/04)